EServices Capability Model ( escm) Annotated Bibliography
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scm
eServices Capability Model (e )
Annotated Bibliography
Bennet Kumar, Vivek Mahendra, Elaine Hyder,
Elise Nawrocki, K. Madhu, Rajesh Gupta
August 2001
CMU-CS-01-125
School of Computer Science
Carnegie Mellon University
Pittsburgh, PA 15213-3890
Abstract
The eServices Capability Model is being developed to enable IT-enabled service providers to appraise
and improve their capability to provide consistently high quality services in the Internet economy. The
framework for this model will enable service providers to establish and manage continually improving
relationships with their clients. The primary focus of existing quality models is only on the execution of a
contract. The eServices Capability Model addresses the contract activities related to the design and
development of an outsourced service but also asserts that successful outsourcing necessitates a focus on
(1) the activities leading to the formation of outsourcing relationships and (2) the transitioning or
termination of outsourced services. The research used to design this model is represented in this
Annotated Bibliography and is organized into the following sections, listed alphabetically: Models and
Assessment Methods (Articles and Reports [1-13], CMM-Related [14-31], and Other [32-45]);
Outsourcing [46-164]; Outsourcing (Application Service Provider [165-177], Data Capture, Integration
and Analysis Services [178-179], Engineering Services [180-197], Human Resource Services [198-211],
Multimedia and Animation Services [212-218], Remote Customer Interaction [219-225], Transcription
Services [226-240], and Call Center [241]); Standards [242-256], Standards, Articles and Reports [257-
272]; Strategic Alliances [273-280]; and Other [281-295]. Entries are ordered alphabetically by author’s
last name. Where appropriate, copies of papers are available from: Dr. Jane Siegel, School of Computer
Science, Carnegie Mellon University, 3603 Newell Simon Hall, 5000 Forbes Avenue, Pittsburgh, PA
15213, or via e-mail at jals@cs.cmu.edu.
This research is supported by Satyam Infoway Ltd. (SIFY), the leading e-business solutions and Internet
infrastructure provider in India, and its subsidiary Satyam Serwiz.com Limited.
The views and conclusions contained in this document are those of the authors and should not be
interpreted as representing the official policies, either expressed or implied, of Satyam Infoway Ltd. or
Satyam Serwiz.com Limited.
© 2001 by Carnegie Mellon University. All rights reserved. 1Keywords: Application Service Provider, Data Capture, Data Integration, Data Analysis Services, Engineering Services, Human Resource Services, Multimedia and Animation Services, Remote Customer Interaction, Transcription Services, Call Center Services, Strategic Alliances, Quality, Standards, CMM, Models and Assessment Methods, Outsourcing. © 2001 by Carnegie Mellon University. All rights reserved. 2
MODELS AND ASSESSMENT METHODS
Articles and Reports
[1] Das, A., Soh, C.W.L., and Lee, P.C.B. (1999). A Model of Customer Satisfaction with
Information Technology Service Providers: An Empirical Study. Academy of Management
Review: 190-193.
The concept of customer satisfaction is gaining importance in the information technology
(IT) industry because organizations have increasingly outsourced their operations and
development activities to IT service providers. The service providers are concerned with
improving the level of customer satisfaction for two reasons. First, it contributes to overall
systems success in the customer organization. Second, it helps the service providers to achieve
the goal of retaining and growing their businesses. Drawing on the resource based view of the
firm which suggests that employees are a strategic resource in differentiating one service
provider from another, the authors hypothesize that the quality of service is dependent on
employee satisfaction and employee contextual knowledge. This study is conducted in
collaboration with a large IT service provider. The study is divided into two stages. The first
stage has already been completed. It involved the collection of data on customer satisfaction,
service quality, solution quality, and price. Data were collected via a questionnaire survey
distributed to customers of the service provider. The authors received 430 returns and are now in
the process of analyzing the data. In the second stage of their study, the authors collected data on
employee satisfaction, employee tenure, and employee experience. Employee tenure and
employee experience are surrogates for employee contextual knowledge. After all the data has
been collected, the authors will use structural equations to test the hypotheses proposed in this
study.
[2] Herbsleb, J., Carleton, A., Rozum, J., Siegel, J., and Zubrow, D. (1994). Benefits of CMM-Based
Software Process Improvement: Initial Results. Pittsburgh, PA. Software Engineering Institute:
64 pgs.
Data from 13 organizations were collected and analyzed to obtain information on the
results of CMM-based software process improvement efforts. The authors report the cost and
business value of improvement efforts, as well as the yearly improvement in productivity, early
defect detection, time to market, and post-release defect reports. Improvement efforts and results
in five organizations are reported in more depth in case studies. In addition, technical issues that
were confronted as the authors tried to measure the results of software process improvement are
discussed. The paper ends with conclusions about the results of SPI efforts.
[3] Humphrey, W. S. (June 1992). Introduction to Software Process Improvement. Pittsburgh, PA.
Software Engineering Institute. CMU/SEI-92-TR-7, ESD-TR-92-007. 36 pgs.
While software now pervades most facets of modern life, its historical problems have not
been solved. This report explains why some of the problems have been so difficult for
organizations to address and the actions required to address them. It describes the Software
Engineering Institute’s (SEI) software process maturity model, how this model can be used to
guide software organizations in process improvement, and the various assessment and evaluation
methods that use this model. The report concludes with a discussion of improvement experience
and some comments on future directions for this work.
© 2001 by Carnegie Mellon University. All rights reserved. 3[4] Kitson, D. H. An Emerging International Standard for Software Process Assessment. 8 pgs.
In June 1993, an international effort was chartered by ISO/IEC JTC1 to develop a
standard for software process assessment. An important goal of this effort is to harmonize
existing process assessment approaches. One of the risks in fielding such an international
standard is that the appearance of a new and potentially incongruous approach to assessment and
improvement could undermine or demotivate continued investment in process improvement by
the software acquisition and software supplier communities. If the prospective standard can
provide an integrating framework while still advancing the state of practice in software process
assessment, it will be a very significant and positive accomplishment. This paper describes the
current state of this standardization effort and discusses challenges which must be overcome.
[5] Kitson, D. H., and Kitson, L.J. (1998). ISO/IEC 15504 -Overview and Status.
Briefing objectives include: promote awareness and understanding of a key emerging
international software standard, identify the potential risks and benefits to the software
community, explain how it relates to key CMM®-related products, and disseminate information
on recent developments.
[6] Minnich, I. (1996). ISO 9001 and the SE-CMM. La Mirada, CA, SECAT LLC: 8 pgs.
http://www.csz.com/secat
This paper provides a top-level summary of the comparison between the Systems
Engineering Capability Maturity Model (SE-CMM) and ISO 9001, the international standard on
Quality Systems – Model for Quality Assurance in Design, Development, Production,
Installation, and Servicing. People from many organizations have asked to characterize the
overlap between the two documents. Questions such as "If we perform systems engineering
according to the SE-CMM, or at an SE-CMM level 'x', are we ISO compliant?" are of interest to
organizations that are trying to implement both concepts concurrently. The answer, of course, is
"It depends." But the bottom line is that an organization can achieve a peaceful coexistence
between the SE-CMM and ISO 9001 by planning ahead, looking at the requirements imposed by
each document, and folding the results into the organization's way of doing business.
[7] Paulk, M. C. (1995). How ISO 9001 Compares with the CMM. IEEE Software: 74-83.
Organizations concerned with ISO 9001 certification often question its overlap with the
Software Engineering Institute’s Capability Maturity Model. The author looks at 20 clauses in
ISO 9001 and maps them to practices in the CMM. The analysis provides answers to some
common questions about the two documents.
[8] Software Engineering Institute (2000). The Evidence for CMM®-based Software Process
Improvement. Pittsburgh, PA. Software Engineering Institute.
Slide presentation includes the following: The Community Maturity Profile: Adoption of
CMM-based Software Process Improvement (SPI) and high level results, Impacts of Software
Process Assessments: What happens after the assessment, Project Management Processes: A
major barrier for process improvement, and Benefits of CMM-based SPI.
© 2001 by Carnegie Mellon University. All rights reserved. 4[9] Software Engineering Institute. SEMA Appraisal Submittal Packet.
http://www.sei.cmu.edu/activities/sema/packet.html
The Appraisal Submittal Packet includes Process Appraisal Information System Record
of Entry form. The Organization Questionnaire Project Questionnaire (PAIS) Record of Entry
form is designed to assist in the submittal of the appraisal artifacts. The Organization (OQ) and
Project Questionnaires (PQ) are designed: (a) To assist an assessment team in pre-on site
activities, such as: identifying software groups/projects within an organization (OQ), and
identifying which group/projects to appraise (PQ), and (b) For collecting data for customers to
enable them to see the aggregated software community profile reports.
[10] Software Engineering Institute Team, Measurement and Analysis (2000). Process Maturity
Profile of the Software Community 1999 Year End Update. Pittsburgh, PA. Software
Engineering Institute.
This briefing uses information from reports of CMM® Based Appraisals for Internal
Process Improvement (CBA IPIs) and Software Process Assessments (SPAs). This briefing
includes three primary sections: Current Status (snapshot of the software community based on
the most recent assessment, since 1995, of reporting organizations), Community Trends (global
distribution of assessments, growth in the number of assessments performed, and shifts in the
maturity profile over time), and Organizational Trends (analysis of Key Process Area (KPA)
satisfaction, and time to move up in maturity).
[11] Software Engineering Institute Team, Measurement and Analysis (2000). Process Maturity
Profile of the Software Community 2000 Mid-Year Update. Pittsburgh, PA. Software
Engineering Institute.
This briefing uses information from reports of CMM ® Based Appraisals for Internal
Process Improvement (CBA IPIs) and Software Process Assessments (SPAs). This briefing
includes three primary sections: Current Status (snapshot of the software community based on
the most recent assessment, since 1996, of reporting organizations), Community Trends (global
distribution of assessments, growth in the number of assessments performed, and shifts in the
maturity profile over time), and Organizational Trends (analysis of Key Process Area (KPA)
satisfaction, and time to move up in maturity).
[12] SPICE Team (1998). Phase 2 Trials Interim Report, Approved for Public Release, Version 1.00:
174 pgs.
http://www-sqi.cit.gu.edu.au/spice/
http://www.iese.fhg.de/SPICE
This report details the interim findings of the second phase of empirical trials conducted
as part of the SPICE Project. The project was initiated by the International Standards group for
Software Engineering, ISO/IEC JTC1/SC7, to develop a standard for software process
assessment. The project is undertaking a set of trials to validate the emerging standard against the
goals and requirements defined at the start of the SPICE Project and to verify the consistency and
usability of its component parts. The project aims to test the emerging standard across a
representative sample of organizations for differing scenarios of use to obtain rapid feedback and
to allow refinement prior to publication as a full International Standard. The trials should
determine whether the emerging standard satisfies the needs of its prospective users.
© 2001 by Carnegie Mellon University. All rights reserved. 5Furthermore, the trials are intended to provide guidance on applying the emerging standard. Such
an exercise is unprecedented in the software engineering standards community and provides a
unique opportunity for empirical validation. An international trials team was established to plan
and organize the trials and analyze the results. Trials are being structured into phases, each with
its own objectives and scope. An appropriate organization and infrastructure (including
procedures and data collection mechanisms) are established to support each phase, from
selection and conduct of trials through to analysis of trials data and reporting of results. The
original trials plan organized the SPICE Trials into three broad phases. The first phase is
completed. This project is currently in the second phase. Data collection for the third phase is
planned to start in September 1998.
[13] Tingey, M. O. (1997). Comparing ISO 9000, Malcolm Baldrige and the SEI CMM for Software,
Prentice Hall PTR: Upper Saddle River, NJ.
This book compares three quality management systems (QMS) assessment methods:
Malcolm Baldrige National Quality Award, ISO 9001, and the Software Engineering Institute
(SEI) Capability Maturity Model for Software (CMM). This book also establishes a framework
from which to compare QMS assessment methodologies in general. This outline provides a
methodology which is best suited for the Organization's QMS. It also provides a cross reference
among the various methodologies for specific aspects of a QMS and an overview and detailed
analysis of each methodology. Further, it presents a complete translation of all assessment
methodology requirements into statements of activity. The book is divided into 5 parts. Part 1
provides an introduction and a backdrop to better understand the comparison. Part 2 provides an
overview for each of the 3 QMS assessment methodologies. Part 3 is the core part of the book,
and compares the three methodologies. Part 4 provides the framework used for comparing the
QMS methodologies. Part 5 provides the detailed requirements of the 3 models.
© 2001 by Carnegie Mellon University. All rights reserved. 6MODELS AND ASSESSMENT METHODS
CMM-Related Documents
[14] Byrnes, P., and Phillips, M. (1996). Software Capability Evaluation Version 3.0 Method
Description: Pittsburgh, PA. Software Engineering Institute. Technical Report, CMU/SEI-96-
TR-002, ESC-TR-96-002. 192 pgs.
This report describes Version 3.0 of the Software Capability Evaluation (SCE) Method.
SCE is a method for evaluating the software process of an organization to gain insight into its
process capability. This version of the SCE Method is based on the Capability Maturity Model
(CMM) defined in Capability Maturity Model for Software, Version 1.1 [Paulk 93a]. It is
compliant with the CMM Appraisal Framework (CAF) [Masters 95]. This document is an update
to SCE Version 2.0 [CBA Project 94].
[15] CMMI Product Development Team (2000). CMMIsm-SE/SW, V1.0 Capability Maturity
Model® – Integrated for Systems Engineering/Software Engineering, Version 1.0 - Continuous
Representation. Pittsburgh, PA. Software Engineering Institute: 618 pgs.
The CMM Integration project was formed to sort out the problem of using multiple
CMMs. The project’s mission was to combine three source models—(1) Capability Maturity
Model for Software (SW-CMM®) v2.0 draft C, (2) Electronic Industries Alliance/Interim
Standard (EIA/IS) 731, and (3) Integrated Product Development Capability Maturity Model
(IPD-CMM) v0.98—into a single model for use by organizations pursuing enterprise-wide
process improvement.
[16] CMMI Product Development Team (2000). CMMIsm-SE/SW, V1.0 Capability Maturity
Model® – Integrated for Systems Engineering/Software Engineering, Version 1.0 - Staged
Representation. Pittsburgh, PA. Software Engineering Institute: 602 pgs.
The CMM Integration project was formed to sort out the problem of using multiple
CMMs. The project’s mission was to combine three source models—(1) Capability Maturity
Model for Software (SW-CMM ® ) v2.0 draft C, (2) Electronic Industries Alliance/Interim
Standard (EIA/IS) 731, and (3) Integrated Product Development Capability Maturity Model
(IPD-CMM) v0.98—into a single model for use by organizations pursuing enterprise-wide
process improvement.
[17] CMMI Product Development Team (2000). ARC, V1.0 Assessment Requirements for CMMI,
Version 1.0. Pittsburgh, PA. Software Engineering Institute: 47 pgs.
http://www.sei.cmu.edu/cmmi/
The Assessment Requirements for CMMI (ARC) V1.0 defines the requirements
considered essential to assessment methods intended for use with CMMI models. In addition, a
set of assessment classes is defined based on assessment usage scenarios. These classes are
intended primarily for developers of assessment methods to use with CMMI capability models in
the context of the CMMI Product Suite. Additional audiences for the document include lead
assessors, and other individuals who are involved in or may be interested in process assessment
or improvement. The approach employed to provide guidance to assessment method developers
is to define a class of assessment method usage scenarios (which are based on years of
experience in the process improvement community) called assessment classes. Requirements are
then allocated to each class as appropriate based on the attributes associated with that class.
© 2001 by Carnegie Mellon University. All rights reserved. 7Thus, a particular assessment method may declare itself to be an ARC class A, B, or C
assessment method. This designation implies the sets of ARC requirements which the method
developer has considered when designing the method. Assessment methods which satisfy all of
the ARC requirements are called class A methods; in addition to being used to render ratings for
benchmarking purposes, class A assessment methods can be used to conduct 15504-conformant
assessments.
[18] CMMI Product Development Team. (October 2000). SCAMPI - Standard CMMI Assessment
Method for Process Improvement. Pittsburgh, PA. Software Engineering Institute. CMU/SEI-
2000-TR-009, ESC-TR-2000-009. 86 pgs.
This document describes the Standard CMMI Assessment Method for Process
Improvement (SCAMPI). This document explains the role of assessments in the context of the
IDEAL (Initiating, Diagnosing, Establishing, Acting, Leveraging) approach to software process
improvement. The SCAMPI method is based on the CMM-Based Appraisal for Internal Process
Improvement (CBA IPI) V1.1 assessment method [Dunaway 96b] and the Electronic Industries
Alliance/Interim Standard (EIA/IS) 731.2 Appraisal Method [EIA 98b]. SCAMPI satisfies the
Assessment Requirements for CMMI (ARC) V1.0 [SEI 00a] and is a Class A assessment method
2. This method helps an organization gain insight into its process capability or organizational
maturity by identifying strengths and weaknesses of its current processes relative to one or more
of the CMMI models. Guidelines are provided for establishing resource requirements for
conducting a SCAMPI assessment.
[19] Cooper, J., Fisher, M., and Sherer, S.W. (Eds.) (1999). Software Acquisition Capability Maturity
Model (SA-CMM) Version 1.02. Pittsburgh, PA. Software Engineering Institute: 168 pgs.
Government and industry have the need to improve the maturity of their internal software
acquisition processes. In order for organizations to make improvements, they must know the
ultimate goal and what is required to achieve that goal. Additionally, progress toward achieving
the goal must be measurable. A capability maturity model provides the framework needed to
facilitate the desired improvement. The Software Acquisition Capability Maturity Model (SA-
CMM) has been developed to provide such a framework. This new version incorporates change
requests that have been received, as well as the results of lessons learned from conducting
appraisals and from the use of Version 1.01.
[20] Curtis, B., Hefley, W.E., and Miller, S. (1995). Overview of the People Capability Maturity
Model. Pittsburgh, PA. Software Engineering Institute: 77 pgs.
This document provides an overview and an introduction to the People Capability
Maturity Model (P-CMM) [Curtis95]. Specifically, this document defines the concepts necessary
to understand the P-CMM and the motivation and purpose behind the P-CMM. This overview
describes the P-CMM structural components, consisting of key process areas within the five
maturity levels of the P-CMM, and the principles that underlie each of the maturity levels.
Finally, the document addresses potential uses of the P-CMM in assessing organizational
practice or guiding improvement of an organization’s workforce capability.
© 2001 by Carnegie Mellon University. All rights reserved. 8[21] Curtis, B., Hefley, W.E., and Miller, S. (1995). People Capability Maturity Model. Pittsburgh,
PA. Software Engineering Institute: 444 pgs.
To provide guidance to organizations that want to improve the way they address these
people-related issues, the SEI has developed the People Capability Maturity Model SM (P-
CMMsm). The P-CMM is a maturity framework, patterned after the structure of the CMM, that
focuses on continuously improving the management and development of the human assets of a
software or information systems organization. The P-CMM provides guidance on how to
continuously improve the ability of software organizations to attract, develop, motivate,
organize, and retain the talent needed to steadily improve their software development capability.
[22] Dunaway, D. K., Seow, M.L., and Baker, M. (April 2000). Analysis of Lead Assessor Feedback
for CBA IPI Assessments Conducted July 1998 - October 1999. Pittsburgh, PA. Software
Engineering Institute. CMU/SEI-2000-TR-005, ESC-TR-2000-005. 45 pgs.
This document consolidates and analyzes information from Lead Assessor Requirements
Checklists that were submitted by Lead Assessors in assessments conducted using the Capability
Maturity Model - Based Appraisal for Internal Process Improvement (CBA-IPI) method. A total
of 83 Lead Assessor Requirements Checklists were completed and submitted between July 1998
and October 1999. This document is organized based on the format of Lead Assessor
Requirements Checklists, which are grouped in four major sections, as (a) Planning the
assessment, (b) conducting the assessment, (c) reporting results, and (d) additional questions.
The findings for each of these major sections are presented in the chapters and within each
chapter an analysis of the results for each question that is significant or meaningful is presented.
[23] Dunaway, D. K., and Masters, S. (1996). CMMsm-Based Appraisal for Internal Process
Improvement (CBA IPI): Method Description. Pittsburgh, PA. Software Engineering Institute:
57 pgs.
This document is a high-level overview of the CMMsm-Based Appraisal for Internal
Process Improvement (CBA IPI) V1.1 assessment method. It provides a brief history of SEI
appraisal methods, as well as establishing appraisals in the context of the IDEALsm approach to
software process improvement. CBA IPI is a diagnostic tool that supports, enables, and
encourages an organization’s commitment to process improvement. The method helps an
organization gain insight into its software development capability by identifying strengths and
weaknesses of its current processes related to the Capability Maturity Model(sm) for Software
V1.1. The method focuses on identifying software improvements that are most beneficial, given
an organization’s business goals and current maturity level. Brief descriptions of the method
activities, roles, and responsibilities are provided. In addition, guidelines are provided for
establishing resource requirements for conducting a CBA IPI. The SEI Appraiser Program is
discussed, detailing the requirements for persons qualified to lead CBA IPIs.
[24] Garcia, S. M. Evolving Improvement Paradigms: Capability Maturity Models and ISO/IEC
15504 (PDTR). Pittsburgh, PA. Software Engineering Institute. 12 pgs.
This paper describes the evolution of the structure and representation of Capability
Maturity Models(sm) and various components of the ISO/IEC 15504 (PDTR) product set,
formerly known as “SPICE”--Software Process Improvement and Capability dEtermination.
© 2001 by Carnegie Mellon University. All rights reserved. 9“15504” will be used as shorthand for the product set encompassed by the 15504 project. The
paper focuses on historical, structural, and conceptual evolution of the two product types.
[25] Hefley, W. E., and Curtis, B. (1998). People CMM® -Based Assessment Method Description
Version 1.0. Pittsburgh, PA. Software Engineering Institute: 103 pgs.
This document provides a high-level overview of the People Capability Maturity Model
SM (CMM®)-Based Assessment Method. It introduces the People CMM as a source of
guidelines for improving the capability and readiness of an organization's workforce in the
context of the IDEAL(sm) approach to process improvement. In order to measure the capability
and maturity of an organization's workforce practices, an appraisal method has been developed
for the People CMM. This document describes the requirements and methods for the People
CMM-Based Assessment Method. This method is a diagnostic tool that supports, enables, and
encourages an organization’ s commitment to improving its ability to attract, develop, motivate,
organize, and retain the talent needed to steadily improve its organizational capability. The
method helps an organization gain insight into its workforce capability by identifying strengths
and weaknesses of its current practices related to the People CMM. The method focuses on
identifying improvements that are most beneficial, given an organization’ s business goals and
current maturity level. Brief descriptions of the method activities, roles, and responsibilities are
provided. The SEI Appraiser Program is discussed, detailing the requirements for persons
qualified to lead People CMM-Based Assessments.
[26] Humphrey, W. S., and Sweet, W.L. (September 1987). A Method for Assessing the Software
Engineering Capability of Contractors, Preliminary Version. Pittsburgh, PA. Software
Engineering Institute. CMU/SEI-87-TR-23, ESD-TR-87-186. 40 pgs.
This document provides guidelines and procedures for assessing the ability of potential
DoD contractors to develop software in accordance with modern software engineering methods.
It includes specific questions and a method for evaluating the results.
[27] Masters, S., and Bothwell, C. (1995). CMM Appraisal Framework, Version 1.0. Pittsburgh, PA.
Software Engineering Institute: 76 pgs.
This technical report describes version 1.0 of the CMM Appraisal Framework (CAF).
This framework describes the common requirements used by the CMM-Based Appraisal (CBA)
project in developing appraisal methods based on the Capability Maturity Model (CMM) for
Software, Version 1.1 [Paulk 93a]. The CAF provides a framework for rating the process
maturity of an organization against the CMM. The CAF includes a generic appraisal architecture
for CMM-based appraisal methods and defines the requirements for developing CAF compliant
appraisal methods.
[28] Miller, S. (2000). People Capability Maturity Model ® Baseline Maturity Profile. Pittsburgh,
PA. Software Engineering Institute.
Slide Presentation consists of the following: People Capability Maturity Model v1.0
released in September 1995, First People CMM Assessment conducted in March 1996, There are
eight SEI-Authorized People CMM Lead Assessors, and 85 Individuals have applied to become
People CMM Lead Assessors.
© 2001 by Carnegie Mellon University. All rights reserved. 10[29] Paulk, M. C., Curtis, B., Chrissis, M.B., and Weber, C.V. Capability Maturity Model(sm) for
Software, Version 1.1. Pittsburgh, PA, Software Engineering Institute: 82 pgs.
This paper provides a technical overview of the Capability Maturity Model for Software
and reflects Version 1.1. Specifically, this paper describes the process maturity framework of
five maturity levels, the structural components that comprise the CMM, how the CMM is used in
practice, and future directions of the CMM.
[30] Whitney, R., Nawrocki, E., Hayes, W., and Siegel, J. (March 1994). Interim Profile-
Development and Trial of a Method to Rapidly Measure Software Engineering Maturity Status.
Pittsburgh, PA, Software Engineering Institute.
Development of an interim profile (IP) method was driven by a business need to rapidly
measure an organization’s software engineering process maturity between organizational
software process assessments (SPAs). This document provides information about the process
used to develop the method and a description of the method to software engineering process
group (SEPG) members and practitioners responsible for diagnosing software process maturity.
This document also addresses the next steps in the further development and use of the interim
profile method.
[31] Zubrow, D., Hayes, W., Siegel, J., and Goldenson, D. (June 1994). Maturity Questionnaire.
Pittsburgh, PA. Software Engineering Institute. CMU/SEI-94-SR-7.
This questionnaire focuses solely on process issues, specifically those derived from the
CMM. The questionnaire is organized by KPAs and covers all 18 KPAs of the CMM. It
addresses each KPA goal in the CMM but not all of the key practices. This document covers the
software process maturity questionnaire, a placard providing instructions on the response options
for the questions and a glossary.
© 2001 by Carnegie Mellon University. All rights reserved. 11MODELS AND ASSESSMENT METHODS
Other
[32] Abrardo, A., Caldelli, R., Cowderoy, A., Donaldson, J., Granger, S., and E. and Veenendaal
(1998). The MultiSpace Application Priorities, ESPRIT Project 23066: 59 pgs.
In the context of multimedia development, the quality of multimedia systems and titles
can be defined in terms of a series of 21 quality sub-characteristics, each of which is measurable.
Suggestions are made of which quality sub-characteristics are likely to be important for 7
different cases. In the context of multimedia, the interpretation of quality needs to pay special
attention to motivation, cost and interconnectivity. Issues concerning involvement and training
are especially important for the author and content specialists. The production of multimedia
involves a diverse range of organizations, project types, users, and technologies. A scheme is
proposed for classifying these. In the case of users, this needs to address both stereotyping and
classification.
[33] Baldridge National Quality, P. (2000). Criteria for Performance Excellence: 60 pgs.
http://www.quality.nist.gov
The Malcolm Baldridge Criteria for Performance Excellence are the basis for
organizational self-assessments, for making Awards, and for giving feedback to applicants. In
addition, the Criteria have three other important roles in strengthening U.S. competitiveness: to
help improve organizational performance practices and capabilities; to facilitate communication
and sharing of best practices information among U.S. organizations of all types; and to serve as a
working tool for understanding and managing performance, and guiding planning and training.
[34] Chapman, P., Kerber, R., Clinton, J., Khabaza, T., Reinartz, T., and Wirth, R. (1999). The
CRISP-DM Process Model: 99 pgs.
The CRISP-DM data mining methodology is described in terms of a hierarchical process
model, consisting of sets of tasks described at four levels of abstraction (from general to
specific): phase, generic task, specialized task, and process instance. At the top level, the data
mining process is organized into a number of phases; each phase consists of several second-level
generic tasks. This second level is called generic, because it is intended to be general enough to
cover all possible data mining situations. The generic tasks are intended to be as complete and
stable as possible. Complete means covering both the whole process of data mining and all
possible data mining applications. Stable means that the model should be valid for yet
unforeseen developments like new modeling techniques. The third level, the specialized task
level, is the place to describe how actions in the generic tasks should be carried out in certain
specific situations. For example, at the second level there might be a generic task called clean
data. The third level would describe how this task differed in different situations, such as
cleaning numeric values versus cleaning categorical values, or whether the problem type is
clustering or predictive modeling. The description of phases and tasks as discrete steps
performed in a specific order represents an idealized sequence of events. In practice, many of the
tasks can be performed in a different order and it will often be necessary to repeatedly backtrack
to previous tasks and repeat certain actions. This process model does not attempt to capture all of
these possible routes through the data mining process because this would require an overly
complex process model. The fourth level, the process instance, is a record of the actions,
decisions, and results of an actual data mining engagement. A process instance is organized
© 2001 by Carnegie Mellon University. All rights reserved. 12according to the tasks defined at the higher levels, but represents what actually happened in a
particular engagement, rather than what happens in general.
[35] Cooper, J, Fisher, M., and Sherer, S.W. (April 1999). Software Acquisition Capability Maturity
Model (SA-CMM) Version 1.02. Software Engineering Institute, Carnegie Mellon University,
CMU/SEI-99-TR-002, ESC-TR-99-002, 158 pgs.
http://www.sei.cmu.edu/pub/documents/99.reports/pdf/99tr002.pdf
Government and industry have the need to improve the maturity of their internal software
acquisition processes. In order for organizations to make improvements, they must know the
ultimate goal and what is required to achieve that goal. Additionally, progress toward achieving
the goal must be measurable. A capability maturity model provides the framework needed to
facilitate the desired improvement. The Software Acquisition Capability Maturity Model (SA-
CMM) has been developed to provide such a framework. This new version incorporates change
requests that have been received, as well as the results of lessons learned from conducting
appraisals and from the use of Version 1.01.
[36] Cowderoy, A. (1998). Final Report of the MultiSpace Project: 11 pgs.
www.brameur.co.uk/qpi/projects/multispace/
www.mmhq.co.uk/mmhqeurope/multispace/
The MultiSpace project has demonstrated that practices for defining and improving
quality developed in engineering disciplines can be adapted and applied to the production of
multimedia. Guidelines are now publicly available (and commercially) for methods and
instruments have been produced. Commercial opportunities have been created exploiting
“multimedia quality” in the form of specification, evaluation and management services. Early
uptake of the quality-oriented methods give a competitive advantage. A new marketing company
has been established as a result of MultiSpace. Europe now has a head start in this area, but work
is now needed on new methods, standards development and dissemination actions such as the
new Center for MultiMedia Quality resulting from the project.
[37] Customer Operations Performance Center (2000). COPC-2000 Standard: External Customer
Service Provider, Release 3. Amherst, Customer Operations Performance Center, Inc. 48 pgs.
The COPC-2000® Standard is used globally by both buyers (clients) and providers of
customer-contact and fulfillment services (collectively called customer-service providers, or
CSPs) to improve the service quality provided to end-users and to reduce costs. Clients use the
Standard for developing Requests for Proposals from CSPs, selecting CSPs, and managing their
relationships with CSPs. CSPs use the Standard for assessing and improving their processes and
performance. While not a guarantee of success, experience has shown that CSPs who adopt the
Standard achieve higher service and quality levels, and lower costs (than competitors). CSPs
include: Customer-contact centers: Operations that interact with end users via phone (i.e., call
centers), electronic means (i.e., e-commerce centers), or traditional mail or fax. Fulfillment
centers: Operations that perform assembly and pick, pack, and ship activities. The Standard is
used by both internal CSPs (i.e., those that interact with their company’s own end users) and
third-party CSPs (i.e., those that interact with the end users of their clients). The version
presented here is for third-party CSPs. Additional versions exist for internal CSPs, healthcare
CSPs, and e-commerce providers.
© 2001 by Carnegie Mellon University. All rights reserved. 13[38] Daily, K., and Cowderoy, A. (Eds.) (1997). The MultiSpace Quality Framework, ESPRIT
Project 23066: 138 pgs.
The MultiSpace Framework describes what is meant by “multimedia quality” and
considers the philosophy used in the construction of multimedia products. By following the
various principles and methods described in the Framework, existing and new multimedia
producers are able to ensure that their work will achieve higher quality. Quality Management is
considered in terms of the good practice that may be developed with objective and target setting,
evaluation and improved working processes. The different characteristics of end-users may be
established and described, and their different needs and expectations can be assessed. These
provide input to the definition of a set of quality objectives that satisfy the needs of the end-user,
the content providers, the multimedia developer and their client (the publishing entity). The
quality targets for individual activities are expressed in terms of “ external” quality
characteristics, which may be evaluated without any reference to the internal workings of the
product, and various internal measures of the content and functionality.
[39] Donaldson, J. (1998). Report on the Promotion of Intellectual Debate, MultiSpace Workpackage
WP7. Technology Transfer: 7 pgs.
As intellectual debate is needed to validate new ideas, stimulate new research and assist
commercial exploitation, The MultiSpace project has made it a priority to ensure that its results
and findings have been given suitable public exposure in the appropriate forums for such
research. MultiSpace has produced 16 papers, several of which have already been published or
presented world-wide. Workshops have been convened to allow public debate on the project’s
findings and there is evidence of the project having had a discernible influence on experts in the
area of cultural multimedia.
[40] Dorling, A. (1995). Software Process Assessment - Parts 1 - 9, Version 1.00 (Formerly IG
Version 1.00).
http://www-sqi.cit.gu.edu.au/spice/
The SPICE Project, Version 1.0, an International Standard, provides a framework for the
assessment of software processes and consists of the following titles: Part 1: Concepts and
introductory guide, Part 2: A model for process management, Part 3: Rating processes, Part 4:
Guide to conducting assessment, Part 5: Construction, selection and use of assessment
instruments and tools, Part 6: Qualification and training of assessors, Part 7: Guide for use in
process improvement, Part 8: Guide for use in determining supplier process capability, Part 9:
Vocabulary.
[41] Earthy, J. (1999). Usability Maturity Model: Processes, Version 2.2 (Trump Version): 86 pgs.
A process model for human-centred activities in the system lifecycle based on ISO
13407, the British HCI Group ISM, the Philips HPI model and Eason and Harker's human
system maturity model. The background to the model is described. The model describes seven
processes each defined by a set of base practices. The base practices are defined. A set of work
products are given for each process. A summary is provided of the ISO 15504 scale for the
assessment of the maturity of processes. The uses of the model are outlined. A recording form
is supplied and its use described. Mappings of the base practices to processes in SPICE, CMM
© 2001 by Carnegie Mellon University. All rights reserved. 14and SE-CMM are provided. The process model is conformant to ISO 15504. This version is
prepared for INTERACT'99.
[42] Earthy, J. (1998). Usability Maturity Model: Human Centredness Scale, Version 1.2,
Information Engineering Usability Support Centres: 34 pgs.
An organizational human-centredness maturity scale based on Flanaghan's Usability
Leadership scale, Sherwood-Jones' Total System maturity model and ISO 13407. The
background to the scale is described. The scale has six levels defined by a set of attributes. Each
attribute is defined by one or more management practices performed at that level. The
management practices are defined. The uses of the scale are outlined. A recording form is
supplied and its use described. Some indicators of personal attitude at each level are given. The
scale is conformant to ISO 15504. This version specially prepared for the TRUMP project.
[43] Muns, R. (2000). Certified Support Center Model and Standards Document, Draft Version 8.0,
Help Desk Institute: 23 pgs.
www.HelpDeskInst.com
HDI's Certified Support Center (CSC) program has been designed to conform to existing
international quality standards, such as the EFQM (European Foundation for Quality
Management), the Malcolm Baldridge National Quality Awards, and ISO9000. The model is
based upon the European Foundation for Quality Management (EFQM) framework, with
modifications to adapt the standards to be specific to the quality standards requirements of
support center organizations. This includes eight model elements with standards within each
element. The CSC standards are analogous to ISO9000 in that they require quality processes and
procedures.
[44] Niessink, F., and van Vliet, H. (December 1999). The Vrije Universiteit IT Service Capability
Maturity Model. Vrije Universiteit Amsterdam Technical Report IR-463, Release L2-1.0, 77 pgs.
This document describes the Vrije Universiteit Information Technology Service
Capability Maturity Model, or IT Service CMM for short. The IT Service CMM is a capability
maturity model that specifies different maturity levels for organizations that provide IT services.
Examples of IT services are the maintenance of software systems, operation of information
systems, the management and maintenance of workstations, networks or mainframes, or the
provision of contingency services. An important question is how these services should be defined
and managed. The complexity of IT applications makes it difficult to properly tune customer
requirements and service provider capabilities. Customers often cannot express their real service
requirements and do not know the corresponding performance needs. Likewise, service providers
often do not know how to differentiate between IT services and how to attune them to a specific
customer. The IT Service CMM is aimed at enabling IT service providers to assess their
capabilities with respect to the delivery of IT services and to provide IT service providers with
directions and steps for further improvement of their service capability.
[45] Olson, T. G., Humphrey, W.S., and Kitson, D.H. (February 1989). Conducting SEI-Assisted
Software Process Assessments. Pittsburgh, PA. Software Engineering Institute. CMU/SEI-89-
TR-7, ESD-TR-89-07. 52 pgs.
© 2001 by Carnegie Mellon University. All rights reserved. 15This report describes software process assessment as it is performed in organizations with the assistance of the Software Engineering Institute (SEI). A software process assessment is an appraisal or review of an organization’s software process (e.g., software development process). The main objectives of such as assessment are to understand the state of practice in an organization, to identify key areas for improvement, and to initiate the actions that facilitate those improvements. This report is specifically addressed to the organizations and assessment team members that may be involved in the SEI-assisted software process assessment. © 2001 by Carnegie Mellon University. All rights reserved. 16
OUTSOURCING
[46] ---------- (November/December 1995). And now for something different…Users speak out on
Outsourcing. InfoServer.
Customers and potential customers attending InfoServer's 2nd Annual Conference shared
a strong interest in what could be called the 3Ms of outsourcing: management, measurement, and
mercy.
[47] ---------- (1996). Electronic College of Process Innovation - Index of Articles and Case Studies.
http://www.c3i.osd.mil/bpr/bprcd/mltc040.htm
The topic for this electronic source is Strategic Alliances and Partnering, covering the
following subjects: Case Studies, Concepts, How-To, Interviews, Lessons Learned, Research,
and Tools.
[48] ---------- (2000). “Managing Vendors: Tips for Success.” Harvard Business Review: 1.
http://www.hbsp.harvard.edu/hbsp/prod_detail.asp?U0003C
With the growth of outsourcing, more and more businesspeople are responsible for
managing relationships with suppliers. But what happens when the vendor doesn't deliver on
time? What happens when it screws up on quality? Disaster can be avoided by managing your
vendor as if it were a department in your company, making sure the contract allows you to get
the information you need to judge the vendor's performance, and monitoring the relationship and
changing the contract as necessary. Includes a sidebar entitled "When Things Go Wrong."
[49] ---------- Outsourcing Strategies, Volumes 1 and 2.
http://www.bestpractice.haynet.com/reports/outsrc.html
As a follow-up to The UK Outsourcing Report, Management Today and Market Tracking
International have added a substantial and detailed supplementary report covering all aspects of
outsourcing IT, from the operating environment and key drivers on how to manage the IT
outsourcing process, providing up-to-date and succinct case studies across a variety of market
sectors. The IT Outsourcing Supplementary Report aims to build on the material in Volume One
and provide more detailed coverage of this topical and far-reaching subject.
[50] ---------- (1997). The Decision to Outsource - An Australian Government Report, The Parliament
of the Commonwealth of Australia, Senate Finance and Public Administration References
Committee.
http://www.aph.gov.au/senate/committee/fapa_ctte/outsourcing/ch1_0.htm
The ever growing pressure on governments throughout the 1980s and 1990s to control
public expenditure has focused attention on outsourcing. Much of the evidence to the committee
tended to argue for or against outsourcing almost as a matter of principle. The committee
observes that such an approach is not helpful. In practice, outsourcing is just one option available
to managers to pursue their agencies' objectives. In the specific area of IT the Commonwealth
already sources a significant proportion of goods and services from the private sector. Virtually
all hardware and a large proportion of software is purchased from the private sector and a
proportion of other services - applications development, maintenance, training, help desk
© 2001 by Carnegie Mellon University. All rights reserved. 17services - are also provided by private contractors. Thus, particularly with regard to the supply of
hardware, the government's IT outsourcing initiatives represent a change of process from a
decentralized agency focused model to a consolidated, integrated, service wide approach rather
than a dramatic shift from public to private provision. This is not to suggest that the changes
underway are not significant. The scale of outsourcing is greater than anything previously
undertaken in the Australian IT market. The provision of services to agencies by private
contractors where they were previously provided internally by the agencies' own employees
represents a major change in the way the public sector works.
[51] ---------- (April 1995). The Smart Vendor Audit Checklist. Inc.
Four years ago, hot tub builder Softub contracted out the assembly of the motor, pump,
and control unit that provides the heat and jet action for the hot tubs. Chief executive Tom
Thornbury felt comfortable about the vendor after meeting with the owner twice and because
other customers raved about it. It was not long before equipment failures surfaced during testing
and in customers' homes. Two years ago, after several other incidents involving substandard
parts, Softub decided to do things differently. The big change was an audit team, led by
purchasing agent Gary Anderson, which goes out to grill vendor candidates. To ensure that the
audits would be effective, Anderson designed a vendor audit survey form which acts primarily as
a check-list. The form forces the team to focus on specific areas so the team does not forget
anything when it is on a visit. The payoff is that Softub is recruiting a better breed of supplier.
[52] Achstatter, G.A. (August 19, 1997). Executive Update. Investors Business Daily.
According to the May/June, 1997 issue of Banking Strategies, people, in addition to
technology, make the difference between successful outsourcing and the also-rans. Certain
factors are critical to the management of outsourcing companies. The company must be willing
to invest the necessary resources to train the company's employees in the working of the vendor's
new system. The vendor should provide timely answers and support when the customer requires
service. The customer or the vendor should have plans in place to conduct annual performance
audits, or reviews, under the new system.
[53] Anthes, G.H. (April 7,1997). Net Outsourcing, A Risky Proposition. Computer World.
Internet outsourcing is inherently difficult to manage because of its rapid rate of change
and inadequately defined electronic commerce company strategies. There are several views that
should help manage this type of contract. Sajoo Samuel, an Assistant Vice President of the First
Chicago Trust in Jersey City, N.J., makes the outsourcing strategy work through close day-to-
day management of the external relationships. An internal project manager works with the
outsourcers daily while serving as liaison with internal business units. The project manager and
outsourcer follow a schedule they have jointly committed to. When outsourcing to multiple
vendors, policies must be in place for change management, that is, who will accept changes from
whom. Attention must be paid to contract terms and service level guarantees.
[54] Applegate, L. M., and Collura, M. (January 3, 2001). Amazon.com—2000. Harvard Business
Review #801194, 23 pgs.
http://www.hbsp.harvard.edu/hbsp/prod_detail.asp?801194
Enables a thorough analysis of Amazon.com and the company’s value proposition, in
terms of its business concept, digital business capabilities, and community and shareholder
© 2001 by Carnegie Mellon University. All rights reserved. 18value. Examines the company’s complex set of business models and web of business
relationships, as well as Amazon’s plan to monetize (generate revenues and earnings through) its
assets.
[55] Applegate, L. M., and Davis, K. (1995). “Xerox: Outsourcing Global Information Technology
Resources.” Harvard Business Review 9-195-158: 31 pgs.
http://www.hbsp.harvard.edu/hbsp/prod_detail.asp?195158
In order to increase revenues, develop new technologies, and manage information
technology more efficiently, Xerox decided to sign a 10-year, $3.2 billion contract with
Electronic Data Systems (EDS). This case describes the events that preceded Xerox's decision to
outsource information technology.
[56] Autor, D. H. (2000). Outsourcing at Will: Unjust Dismissal Doctrine and the Growth of
Temporary Help Employment. Cambridge, MA, National Bureau of Economic Research: 51 pgs.
http://www.nber.org/papers/w7557
The U.S. temporary help services (THS) industry grew at 11 percent annually between
1979 – 1995, five times more rapidly than non-farm employment. Contemporaneously, courts in
46 states adopted exceptions to the common law doctrine of employment at will that limit
employers’ discretion to terminate workers and opened them to litigation. This paper assesses
whether the decline of employment at will and the growth of THS are causally related. To aid the
analysis, the paper considers a simple model of employment outsourcing, the primary
implication of which is that firms will respond to externally imposed firing costs by outsourcing
positions requiring the least firm-specific skills rather than those with the highest expected
termination costs. The empirical analysis indicates that one class of exception, the implied
contractual right to ongoing employment, led to 14 – 22 percent excess temporary help growth in
adopting states. Unjust dismissal doctrines did not significantly contribute to employment growth
in other business service industries. Temporary help employment is closely correlated with union
penetration, with states experiencing the least rapid decline in unionization undergoing
substantially faster THS growth. The decline of employment at will explains as much as 20
percent of the growth of THS between 1973 – 1995 and accounts for 336,000 to 494,000
additional workers employed in THS on a daily basis as of 1999.
[57] Balaguer, N. S. (1990). “Sears, Roebuck and Co.: Outsourcing Within the Company (A).”
Harvard Business Review 9-191-015: 18 pgs.
http://www.hbsp.harvard.edu/hbsp/prod_detail.asp?191015
In early 1988, Charles Moran, CIO of Sears, Roebuck and Co. was reviewing the
evolution of communications and data processing activities at Sears. Recognition of
communications network consolidation opportunities across its diverse and highly autonomous
business groups (Sears Merchandising, Allstate Insurance, Dean Witter, and Caldwell Banker) in
the early 1980s had led the company to form the highly successful Sears Communication
Network (SCN) in 1983. During the past five years, the network contributed to lowered unit
costs, improved service, reliable and expandable capability, and timely development of new
applications. Now, Moran and his colleagues were contemplating data processing consolidation
opportunities across business groups. The key was whether the business groups would agree to a
© 2001 by Carnegie Mellon University. All rights reserved. 19centrally-managed utility and concentrate their information technology efforts on business
applications development activities.
[58] Balaguer, N. S. (1990). “Sears, Roebuck and Co.: Outsourcing Within the Company (B).”
Harvard Business Review 9-191-016: 3 pgs.
http://www.hbsp.harvard.edu/hbsp/prod_detail.asp?191016
Describes the challenges faced by Charles Carlson, president of Sears Technology
Services, Inc. (STS). STS was the result of Charles Moran's data processing consolidation
activities for three of Sears' four business groups. Leaves students with two questions: How does
one implement a corporate utility concept in a highly decentralized and autonomous
organization; and how does one make STS a viable and valuable organization for the Sears
family?
[59] Balaguer, N. S. (1990). “Sears, Roebuck and Co.: Outsourcing Within the Company (C).”
Harvard Business Review 9-191-017: 1 pg.
http://www.hbsp.harvard.edu/hbsp/prod_detail.asp?191017
Describes the results of data consolidation efforts by Sears Technology Services, Inc.
(STS). Provokes discussion of the drawbacks associated with concentrating one's efforts on
consolidation activities in lieu of more strategic activities when financial pressures dictate cost
savings. Leaves students with a series of questions: 1) How does one ensure that STS is
recognized by the business groups as more than a corporate data processing utility? 2) How
should Carlson balance his organization's resources in relation to the data consolidation efforts
and the role of technology leaders? and 3) What goals should he communicate to the chairman of
Sears for STS for the 1990s?
[60] Baldwin, C. Y., and Clark, K.B. (1997). “Managing in an Age of Modularity.” Harvard Business
Review: 10 pgs.
http://www.hbsp.harvard.edu/hbsp/prod_detail.asp?97502
Modularity is a familiar principle in the computer industry. Different companies can
independently design and produce components, such as disk drives or operating software, and
those modules will fit together into a complex and smoothly functioning product because makers
obey a given set of design rules. As businesses as diverse as auto manufacturing and financial
services move toward modular designs, the authors say, competitive dynamics will change
enormously. Leaders in a modular industry will control less, so they will have to watch the
competitive environment closely for opportunities to link up with other module makers. They
will also need to know more: engineering details that seemed trivial at the corporate level may
now play a large part in strategic decisions. Leaders will also become knowledge managers
internally because they will need to coordinate the efforts of development groups in order to
keep them focused on the modular strategies the company is pursuing.
[61] Barrett, R. (1996). Outsourcing Success Means Making the Right Moves, Reengineering
Resource Center, The Outsourcing Institute.
www.reengineering.com/articles/jul96/InfoManagement.html
Stand inside the information management department of any large organization and you'll
hear the mantra: outsource, outsource, outsource. Depending on how you approach it, off-loading
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